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Investment Advisor Representative Jacob Cazier Subject of $15M Customer Dispute

Jacob Perry Cazier (CRD#: 6904198) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2018 and previously worked for Allegis Investment Services, LLC; J.W. Cole Financial, Inc.; and Oak Lane Advisors. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Registered Broker Ivan Gefen Subject of $1.2M Customer Dispute

Ivan Gefen (CRD#: 1229418) is a registered broker and investment advisor at NewBridge Securities Corporation in Boca Raton, FL. Broker’s Background Ivan Gefen entered the securities industry in 1984, and previously worked for First Miami Securities, Inc; Prudential Securities Incorporated; VFinance Investments, Inc; National Securities Corporation; National Asset Management, Inc.; and Morgan Stanley. Current and […]

Wells Fargo Discharges Financial Advisor George Cairnes for Selling Away

George John Cairnes (CRD#: 4068906) was a previously registered investment advisor and broker. Broker’s Background He entered the securities industry in 2000 and has previously worked for Chelsea Financial Services; Wells Fargo Clearing Services, LLC; Wells Fargo Investments, LLC; Stanford Group Company; and Merril Lynch, Pierce, Fenner, & Smith Incorporated. Current Allegations of Conduct Leading […]

Financial Advisor Gary S. Costello Has Five Disclosed Customer Complaints

Gary Steven Costello (CRD#:6117388) is a registered broker and investment advisor for Aegis Capital Corp. in Boca Raton, FL   Broker’s Background He entered the securities industry in 2016 and previously worked for Truist Advisory Services, Inc; Oppenheimer & Co. Inc.; Morgan Stanley; and Park Avenue Securities, LLC.   Current and Past Allegations of Conduct […]

Financial Advisor Rene Javier Castro Has Disclosed Seven Customer Complaints

Rene Javier Castro (CRD#:2559410) is a registered broker at Great Point Capital LLC, and a registered investment advisor at Retirement Wealth Management.   Broker’s Background He entered the securities industry in 1994. He previously worked for Center Street Advisors, Inc.; VFG Advisors, Inc; Concorde Asset Management; United Financial Solutions, Inc.; Centaurus Financial, Inc.; Brewer Financial […]

Financial Advisor Robert Marquez Barred by FINRA in Connection with Investigation Involving Pre-IPO’s

Robert Emett Marquez (CRD#: 22662269) is a previously registered broker.   Broker’s Background He entered the securities industry in 1992. He previously worked for Investment Network; Edi Financial, Inc (FINRA expelled the firm in 2017); Colorado Financial Service Corporation; Brookstone Securities (FINRA expelled the firm in 2012); Empire Financial Group (FINRA expelled the firm in […]

Registered Investment Advisor Daniel McPherson has Disclosed Four Customer Complaints

Daniel George McPherson (CRD#: 4964802) was a previously registered broker and is now a registered investment advisor at CG Advisory Services in Idaho Falls, ID.   Broker’s Background He entered the securities industry in 2005 and previously worked for Cetera Advisors LLC; Pacific West Financial Consultants, Inc.; Pacific West Securities, Inc.; SPC; Sammons Securities Company, […]

Financial Advisor Kurt Cambier is the Subject of Churning Allegations

Kurt Cambier (CRD#: 1392482) is a registered broker and investment advisor at Cambridge Investment Research, Inc. in Littleton, CO. Broker’s Background He entered the securities industry in 1986 and previously worked for Multi-Financial Securities Corporation; MML Investors Services, Inc.; G.R. Phelps & Co., Inc.; Amev Investors, Inc.; Pruco Securities Corporation. Current and Past Allegations of […]

Todd Lesk Barred by FINRA in Connection with Selling Away Allegations

Todd Lesk (CRD#: 2788300) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1997 and previously worked for Cambridge Investment Research, Inc.; LPL Financial LLC; Invest Financial Corporation; Middlebury Securities, LLC; Sterne Agree Financial Services, Inc.; Atlantic Coast Securities Corporation; Livingston Monroe Capital Group, Inc.; G.T. Jeffers & […]

Registered Broker Thomas Hamlin Subject of Customer Disputes Involving iCap Enterprises

Thomas Burgess Hamlin (CRD#: 2208505) is a registered broker and investment advisor at Somerset Securities, Inc. in Portland, OR. Broker’s Background He entered the securities industry in 1992 and previously worked for Raymond James Financial Services Advisors, Inc.; Prudential Securities Incorporated; Spelman & Co.,Inc.; and Advantage Capital Corporation. Current and Past Allegations of Conduct Leading […]